Edible Films and Coatings for Fruits and Vegetables

Sanjib K Paul, Biotechnology and Allied Science Group, IPO, Kolkata, India
r 2019 Elsevier Inc. All rights reserved.

Introduction

Fruits, vegetables and other food products are preserved or stored since the beginning of human civilization. With technological
developments the way of storage and preservation of food products including fresh fruits and vegetables also changed and modernized.
The techniques such as chemical fungicides, modified atmosphere packaging (MAP), controlled atmosphere packaging/storage
(CAP/CAS) and plastic films are being used for post-harvest management of fruits and vegetables since many decades (Mario et al., 2010).
Though these technologies are dominating the sector of post harvest management and storage of fruits and vegetables but still they
produce lots of limitations like- growth of tolerant pathogens, fungicide residual hazards, anaerobiosis, improper ripening and off-flavor
development but failed to increase the shelf life up to maximum desirable level. Further, these techniques are not universally applicable
for all perishable fruits and vegetables. So, an urgent need of an alternative technique such as edible coating with active functional
materials like – antioxidants and antimicrobials etc., was realized to inhibit the rapid quality degradation of food products including
horticultural crops without significant risk to environment and health hazards.
Application of edible films and coatings in food products including fresh fruits and vegetables seems new, but its basic
technology is an age-old practice. Wax coatings have been applied to reduce dehydration of citrus fruits in China since 12th
centuries (Guilbert and Biquet, 1986). Use of coating in meats to thwart shrinkage has been in practice since at least 16th century,
where meat cuts were coated with lipids (Kester and Fennema, 1986a,b). Yuba, which is a proteic edible film obtained from the
skin of boiled soybean milk, was conventionally used in Asia to enhance the exterior and preservation of various food products
since the 15th century (Gennadios et al., 1993). Later in the last century, the preservation of meat and other perishable food
products by coating them with gelatin was recommended (Contreras-Medellin and Labuza, 1981). In the 19th century, sucrose
was initially applied as an edible coating on dry fruits and nuts to prevent oxidative rancidity during storage. The more important
application of edible films and coatings extensively started particularly since the 1930s with the use of an emulsion made of waxes
spread on fruits to improve their appearance (shininess, color, softening), onset of mealiness, carriage of fungicides, and to better
control their ripening and to delay the dehydration. Over the last 40 years, extensive researches on the optimization of for-
mulation, methods of application, and characterization of edible films and coatings have been carried out and reported in both
scientific and patent literature.
Many types of material used for enrobing (i.e., wrapping or coating) various food to extend shelf life of the product that may be
eaten together with the coated food. Both edible films and coatings are similar in composition but basic difference among them is
edible coating remain adhered with the surface of the product, whereas edible films do not adhere with the product rather it fulfills
the utility of wrapping or packaging purposes. Edible coatings and films are generally produced from renewable natural and
biodegradable polymeric materials such as polysaccharides, proteins, lipids, or the combination of these components (composite
and conglomerate coating/film). For the past decade, research on edible films and coatings in foods is driven due to the high
demand of consumers for longer shelf–life and better quality of fresh foods as well as of environmentally and health friendly
packaging (Debeaufort et al., 1998; Tharanathan, 2003; Cha and Chinnan, 2004; Siracusa et al., 2008).
It is being observed that coatings and films with single basic material possess several limitations. To overcome the drawbacks of
single component edible films and coatings, a concept of combining the unique features of different individual coating materials in
desired combination has been developed in the name of composite coatings and films. It is constructed either by making successive
layers of different film forming material, or in the form of a single layer film from emulsion, suspension or dispersion in the immiscible
layers at a time, or by making solution of different materials in the same solvent and subsequent formation of film or coating. In this
direction, edible coatings made with chitosan and yam starch demonstrated significant antimicrobial activity when used in the coating
of carrots (Durango et al., 2006), strawberries (Mali and Grossmann, 2003), mango etc (Vargas et al., 2006) and raspberries, as well as in
table grapes inoculated with B. cinerea (Romanazzi et al., 2002).
Further, functional and active edible coatings and films are also being developed by introducing certain materials like-
antioxidant, antimicrobial and nutraceuticals into the coating or film which prevents the growth of micro organisms, reduce
oxidative degradation and also enhance the nutritive value of the packaged food (Bifani et al., 2006; Lin and Zhao, 2007; Vargas
et al., 2008). Reported that different functional materials including nanomaterials in edible coatings can increase the desired
functionalities of packaging materials extending the shelf life of the coated produce. The extract of natural herbs can also be
incorporated inside the molecular orientation of the edible polymeric base of edible coatings and films (Paul, 2018). Edible films
and coatings with tea extracts, different edible oils etc are already applied successfully to extend the shelf life and retention of
quality attributes. In edible films and coatings these additives demonstrated prolonged and controlled efficacy due to their
immobilization inside the polymeric chains. These extracts are also eliminate the application of hazardous chemical substances
and are expected to contribute positively in the search of green and natural materials.
In addition to the natural extracts, various active, smart and intelligent functional additives are also being incorporated into
edible films and coatings to achieve certain goals. It is demonstrated by various researchers that appropriate incorporation of

Encyclopedia of Renewable and Sustainable Materials doi:10.1016/B978-0-12-803581-8.11509-7 1

2 Edible Films and Coatings for Fruits and Vegetables

certain engineered substances including nanomaterials in edible films and coatings substantially enhance the required func-
tionalities of the film or coating by controlling microbial, enzymatic, biochemical reactions of the internal environment. Their
incorporation can also impart in low oxygen availability, controlled release of carbon dioxide and excellent mechanical and barrier
properties. Though in present days, scientists are interestingly creating a domain for novel application of nanotechnology in
various fields of food processing keeping in mind about their probable risks and safety issues, but till now very little research has
been done in the area of edible nano-packaging for foods especially fruits and vegetables. Observing and analyzing each and every
dimension of developments of edible films and coatings author expects that improved edible films and coatings with various
active materials including natural extracts, their nanomaterials and safer synthetic nanomaterials will dominate among the existing
technologies for preservation and primary packaging of fruits, vegetables and various other food products.

Edible Films and Coatings

Any type of material used for enrobing (i.e., wrapping or coating) various food to extend shelf life of the product and/or value
addition that may be eaten together with food with or without further removal is considered as edible film or coating. Both edible
film and coatings are similar in composition but basic difference among them is edible coating remain adhered with the surface of
the product, whereas edible film do not adhere with the product rather it fulfills the utility of wrapping or packaging purposes.
Edible films and coatings have been applied on meat, poultry, seafood, fruits, vegetables, grains, candies, heterogeneous and
complex foods, or fresh, cured, freeze, and processed foods. An ideal coating is defined as one that can extend storage life of fresh
fruits or vegetables without causing anaerobiosis and reduces decay without affecting the quality of the coated fruits or
vegetables (Ghaouth et al., 1992). When edible coating or film contains any functional or active material (antioxidant, anti-
microbial or nutrients etc.) then it is termed as functional edible coating or film, which seems to have tremendous scope for value
addition and storage. Improvement of the technology in this domain is of great importance for the present day food and
packaging scientists. For the past 10 years, research on edible coatings in foods is driven due to the high demand of consumers
for longer shelf–life and better quality of fresh foods as well as of environmentally and health friendly packaging (Debeaufort
et al., 1998; Tharanathan, 2003; Cha and Chinnan, 2004; Siracusa et al., 2008). Indeed, edible coatings can be used as a vehicle for
incorporating natural or chemical antimicrobial agents, antioxidants, enzymes or functional ingredients such as probiotics,
minerals and vitamins (Bifani et al., 2006; Lin and Zhao, 2007; Vargas et al., 2008).
Edible coatings provide replacement and/or fortification of natural layers to prevent moisture losses, while selectively allowing
for controlled exchange of important gases, such as oxygen, carbon dioxide, and ethylene, which are involved in normal
respiration processes and ripening of fruits and vegetables. A coating can also provide surface sterility and prevent loss of other
important components.
The principal reason of fruit and vegetable spoilage are gas exchanges (respiration and transpiration) during ripening and
storage, and/or microbial growth, particularly molds and rots. In addition, changes in gas transition leads to various other equally
important detrimental characteristics. These include loss or change of flavor and aroma, esthetically unacceptable appearance and
changes in texture (Paul, 2018).
The main advantage of edible coatings over traditional synthetics is that they can be consumed with the products and are
environmentally safe. The coatings are produced exclusively from renewable and edible ingredients and therefore are anticipated
to degrade more readily than polymeric materials. Edible coatings can enhance the organoleptic properties of coated foods
provided they contain various components (flavorings, colorings, sweeteners). Their use based on natural polymers and food
grade additives has been constantly increasing in the food industries, including fruits and vegetables. The coatings/films can be
produced with a variety of natural products such as polysaccharides, proteins and lipids, with the addition of plasticizers and
surfactants. The functionality and performance of edible coatings mainly depend on their barrier, mechanical and optical prop-
erties, which in turn depend on coatings composition and manufacturing process. The choice of an edible coating mainly depends
on the specific characteristics of the food product that requires protection and its storage conditions.
The new generation of edible coating is being especially designed to increase their functionalities by incorporating natural or
chemical antimicrobial agents, antioxidants, enzymes or functional ingredients such as probiotics, minerals and vitamins (Bifani
et al., 2006; Vargas et al., 2008). Antimicrobial and antioxidant coatings have advantages over direct applications of the anti-
microbial or antioxidant agents because they can be designed to slow down the diffusion of the active compounds from the
surface of the coating. Edible coating can enhance the nutritional value of foods by carrying basic nutrients and/or nutraceuticals in
its matrix. The sensory quality of coated products can be also improved if flavor and pigment compounds are added in the matrix.
Incorporation of antimicrobial agents such as benzoic acid, sorbic acid, propionic acid, lactic acid, nisin, and lysozyme in coating
have shown retarded surface growth of bacteria, yeasts, and molds on a wide range of products, including various fruits and
vegetables. Various antimicrobial edible films have been developed to minimize growth of spoilage and pathogenic micro-
organisms. The effect of coatings on fruits and vegetables depends greatly on temperature, alkalinity, thickness and type of coating,
and the variety as well as maturity/ripening stage of the fruits and vegetables (Park et al., 1994). Various types of polysaccharide-
based (cellulose, chitosan, alginate, starch, pectin, and dextrin), protein-based (wheat gluten, collagen, corn zein, soy, casein, and
whey protein), lipid-based (waxes, acylglycerols, and fatty acids) edible films, as well as their composites are already developed
and at present these are a commercial reality. Wide ranges of functional agents are being successfully incorporated into such
 Edible Films and Coatings for Fruits and Vegetables 3

coatings during manufacture and several are yet to explore to enhance the safety and shelf life of fresh and ready-to-eat foods
including fruits and vegetables.

Edible Coating Materials

Hydrocolloids (i.e., Proteins and Carbohydrates) and Lipids are the base matrix materials that generally being used for the
production of edible films and coatings. Combinations of different materials at various ratio in the form of composite films or
coatings are the improved type with higher functionality to address the limitations of the individual one (Li and Barth, 1998; Park
et al., 1994; Guilbert et al., 1996a,b; Mahmoud and Savello, 1992).

Hydrocolloid materials
Hydrocolloids are hydrophilic polymers that generally contain many hydroxyl (-OH) groups. Now-a-days they are widely used as
the base material for film-forming solution to execute and control the texture, flavor, color and shelf-life of foods (Williams and
Phillips, 2000). They are fully or partially soluble in water and are used principally to increase the viscosity with or without the
external application of heat to the continuous phase of the film forming solution i.e., as gelling agent or thickener (Baldwin et al.,
1995; Kester and Fennema, 1986a,b). They also possess the stabilization property to prevent the separation of emulsion (if the
coating or film contains oil-in-water or water-in-oil components) due to an increase in viscosity of the aqueous phase. The kinetic
motion of the oil droplets is reduced, resulting in a lower rate of flocculation and coalescence in the film.

Polysaccharide based films and coatings

Polysaccharide films and coatings are principally made from starch, pectin, cellulose (Li and Barth, 1998), chitosan (Zhang and
Quantick, 1998, 1997; Ghaouth et al., 1992; Ghaouth et al., 1991; Jiang and Li, 2001; Cheah et al., 1997; Li and Yu, 2000) and
alginate etc. Due to their ability to form gel, thickening quality, viscosity and adhesiveness during the application of coating, as
well as their efficacy to impart hardness, crispiness and compactness to the final product, they are extensively utilized in the
practical field. Because of the makeup of the polymer chains, these coatings exhibit excellent gas permeability properties, resulting
in desired modified atmospheres that enhance the shelf-life of the product, especially fresh products like – fruits and vegetables,
without creating anaerobic conditions (Baldwin et al., 1995). Additionally, polysaccharide films and coatings can be used to
extend the shelf-life of various foods by preventing dehydration, controlling oil and aroma transmission, oxidative rancidity and
surface browning but their hydrophilic nature makes them poor barriers for water vapor. The primary advantages of poly-
saccharide films or coatings are their structural stability and ability to slow down oxygen transmission due to their tightly packed,
ordered hydrogen bonded network and low solubility. As a general rule coatings or films which do not provide protection against
water transmission often have desirable properties in preventing oxygen transmission and vice versa (Banker, 1966). These
coatings may retard ripening and increase shelf life of coated fruits and vegetables, especially climacteric fruits without creating
severe anaerobiosis (Arvanitoyannis and Gorris, 1999).

Protein based films and coatings

Corn zein, wheat gluten, milk proteins, whey proteins, soy proteins and gelatin are being extensively studied for their film and
coating forming ability, their features and functional efficacy in terms of quality retention and shelf life of coated products. Protein
based films and coatings exhibit better resistance to gas transmission and mechanical and structural properties than poly-
saccharides. As like polysaccharide films, protein based films also possess excellent oxygen, aroma, and oil barrier properties. But,
it also shows poor water vapor barrier property due to their hydrophilic nature (Baldwin and Baker, 2002). Like other films and
coatings, properties of protein based films and coatings also directly depend upon type, composition and application/formation
process of the coating and/or film (Sothornvit and Krochta, 2000, 2001; Sothornvit et al., 2002; Cho and Rhee, 2002; Wan et al.,
2005).

Lipid based films and coatings

Lipid substances are utilized as protective coating to improve the gloss and most importantly to prevent moisture transmission,
due to its hydrophobicity. Moisture transmission rate decreases with the increase in hydrophobic phase. Lipids offer limited
oxygen barrier properties due to the presence of microscopic pores and elevated solubility and diffusivity. Lipid films or coatings
are usually opaque, lack structural rigidity, mechanical strength and relatively inflexible (Guilbert et al., 1996a,b). Due to their low
polarity, films from lipid become thicker and brittle and thus they must be combined with different film forming hydrocolloids or
their derivatives to provide mechanical and structural strength (Debeaufort et al., 1993). Several lipid materials including paraffin
wax, bee wax, acetoglyceride, shellac resins etc are extensively used to provide edible surface coating to retain the quality attributes
of various fruits, vegetables and other food products during storage (Figs. 1 and 2).

Composite films
To overcome the drawbacks of single component edible films and coatings, a concept of combining the unique features of
different individual coating materials in desired combination has been developed in the name of composite coating. It is
constructed either by making successive layers of different film forming material, or in the form of emulsion, suspension or
4 Edible Films and Coatings for Fruits and Vegetables

Fig. 1 Classification of edible films and coatings based on generally used material.

dispersion in the immiscible layers at a time, or by making solution of different materials in the same solvent and subsequent film
or coating application. Improvement of mechanical, structural and permeation properties of the film or coating is the main motto
of producing composite films. Extensive work has been carried out by the researchers exploring various improved properties by
combining different proportions of methyl cellulose and fatty acid (Kamper and Fennema, 1984), lipid and hydroxypropyl methyl
cellulose (Hagenmaier and Shaw, 1990), methyl cellulose and lipid (Greener and Fennema, 1989), methyl cellulose and fatty acid
(Sapru and Labuza, 1994), casein and lipids (Avena-Bustillos and Krochta, 1993), gelatin and soluble starch, hydroxypropyl starch
and gelatin (Arvanitoyannis et al., 1998), corn zein and corn starch (Ryu et al., 2002), gelatin and fatty acid (Bertana et al., 2005),
soy protein isolate and polylactic acid (Rhim et al., 2007) to maximize the quality retention and extension of shelf-life of the
coated items.

Methods for Film and Coatings Formation

Formation and/or processing techniques differ between edible film and coating. Edible coatings are mostly applied on the
surface of the material by dipping, brushing and spraying of the coating solution depending upon the feasibility, whereas, like
thermoplastic polymeric structures solvent casting, extrusion, spinning etc. are the mostly used techniques of present day for
edible film formation and processing. In food industry, coating by spraying is the conventional method generally used when
the coating forming solution is not very viscous. Indeed, highly viscous solution cannot be or very easily sprayed and brushing
also can’t coat a material in a homogeneous and uniform way. Thus only dipping techniques can be applied giving high
thickness to the coating with uniformity. The adhesiveness of the coating on the surface of the food product mainly depends
on its specific nature, i.e., on its affinity, but little depends on the coating technique used. Affinity depends on the physical
nature and on the number of interactions or bondings between coating and support surface. So, the use of substances like-
emulsifiers makes possible the sticking of a hydrophobic coating on a hydrophilic food surface (Gontard and Guilbert, 1994).
On the other hand, coating thickness depends essentially on the application technique and on the viscosity of the formulation
(Fellows, 1990).
Formation of effective and quality edible coating requires several sophisticated steps and optimized judgment. The basic
process of present day as standardized by this author (Paul, 2018) for the development of a new edible coating on a product is
explained in the following outline:

(1) Preparation of coating formulations by taking a range of independent variables and varying their concentration in the
formulation.
(2) Designing of experiments by using appropriate statistical method like- Central Composite Rotatable Design (CCRD),
Completely Randomised Block Design (CRBD) based on number of variables and set of run.
 Edible Films and Coatings for Fruits and Vegetables 5

Fig. 2 General flow diagram of application/production of edible coating and film.

(3) Model fitting and soft computing optimization of the composition of coating formulation among the set of formulations
based on the experimental results of coating attributes and product characteristics.
(4) Impregnation of additives at a range of concentration into the optimum coating formulation (if desired).
(5) Application of coating by modern coater (may be separately developed and optimized based on the product type) at
standardised thickness throughout the process.
(6) Storage analysis of the coated product and determination of minimum but most effective concentration of additives by
statistical tools in terms of retention of quality attributes and extension of shelf life.
(7) Compilation and recommendation of final process and formulation by model validation with experimental data.

Now a day’s dipping is a common method for applying coatings on fruits and vegetables (Vargas et al., 2008). The coating is
made by dipping in a coating solution with standardized properties such as density, viscosity and surface tension, as well as
keeping time and food withdrawal speed from the coating solution (Cisneros-Zevallos and Krochta, 2003). These properties have
direct effect on the final coating thickness and thus different theoretical approaches can be used to estimate film thickness from
coating solution properties (Snoeijer et al., 2008). Generally the food is dipped into the film-forming solutions between 5 and 30 s
and suitable coatings are obtained with remarkable utility (Vargas et al., 2006; Ayranci and Tunç, 1997). Direct application of
antimicrobial agents onto food surfaces by dipping has proven to be less effective as there is loss of activity because of leaching
onto the food, enzymatic activity, and reaction with other food components and therefore embedding the active materials into
6 Edible Films and Coatings for Fruits and Vegetables

coating base can show higher efficacy limiting the problems. The application of edible coating to minimally processed fruits is not
easy because it is difficult to obtain a good adhesion of the coating to the hydrophilic surface of the cut fruit. A solution to solve
this problem could be a multilayer composite technique: the layer-by-layer electro deposition where two or more layers of material
with nanometer dimensions are physically or chemically bonded to each other (Vargas et al., 2008; Weiss et al., 2006).
In case of edible film production, the process up to the preparation of coating or film forming solution/gel/colloid is same like
the process of edible coating (till step (iv) of the outline) as described in previous paragraph. Appropriate film forming method
should be selected depending upon the properties of base material, prepared formulation, product to be packaged and require-
ment of any special features in the produced film. Techniques used for the producing of flexible plastic films can also be used for
edible and biodegradable films (Lindstrom et al., 1992; Fellows, 1990). These techniques can be extrusion or co-extrusion
for multilayer films, solvent casting, spinning, lamination, and roll-drying for the solvent removal of the polymer formulation.
After the film processing it should be dried carefully and produced films are used for packaging purposes.

Properties of Edible Films and Coatings

Thickness
Thickness of edible films and coatings is an important parameter since it directly affects the biological properties and shelf life of
the coated food by interfering permeability, transparency etc. The effectiveness of edible films and coatings for protection of food
depends primarily on controlling the spreading of the coating solutions, which affect the thickness of the film and thus leading to
its affect into porosity, transparency, gas and water vapor permeability etc.

Mechanical properties
Tensile strength, Young’s modulus and elongation at break are the most important key parameters to study the mechanical
properties of edible film, whereas for edible coating these properties are not directly determined. Still, these properties are
indirectly associated with various other properties of edible coating that significantly affect the product quality. Researchers have
determined these parameters from the stress–strain curves according to the norm of the American Society for Testing and Materials
(ASTM). These properties of films are very important for their application as a packaging material. These properties indicate the
strength, elasticity and protect-ability of the film.

Barrier properties
Protecting features of edible films or coatings against the permeation of gases, water vapor, oil, aroma compounds and light are
very important key factors for maintaining the quality of the products during storage and extension of the shelf-life, which
determine the efficacy of the film or coating. Chemical composition and structure of the film/coating-forming polymers, com-
position of film/coating solution, interactions between the sorbent and solvent, processing and drying parameters, the
characteristics of the product, and the storage conditions are mainly responsible for the barrier properties of the film or coating
(Paul et al., 2015, 2018; Paul, 2018).

Optical properties
Optical properties are characteristics of surfaces which are detected by human vision affecting some crucial aspects including
esthetic properties of food quality. Gloss, transparency and color are the main optical properties of edible coatings and films. The
internal and surface film microstructure together plays an important role in overall optical properties of the film and coated
product. Indeed, the intensity of light reflected by the coated food is determined both by the light directly reflected at the interface
between air and the coated food surface, which is responsible for the gloss of the product (specular reflection) and by both the
light re-emitted out of the surface in all directions after penetrating into the coating of the food and scattering internally (indirect
reflection) depending upon the transparency of the coating. Specular reflection is related to the gloss of the coating or film. The
gloss and indirectly specular reflection property of edible coatings as well as film is affected by coating microstructure in particular,
by the type and level of surfactant, the distribution and the size, particle diameter of dispersed phase, relative humidity, storage
time and the surface roughness (Nikolova et al., 2005; Villalobos et al., 2005). The transparency of films was measured through the
surface reflectance spectra in a spectrocolorimeter, which is inversely proportional to the absorbance at a particular wavelength
(Das et al., 2013; Paul et al., 2015).

Thermodynamic parameters associated to sorption phenomenon

The interactions of between the sorbant and solvent can define the efficiency of the edible film and coating to control the gas
permeability and therefore also controls the respiration and ripening of fresh fruits and vegetables, as well as the stability of the
coated food. The relationship between the total moisture content and the water activity (Aw), over a range of values, at constant
temperature, yields the sorption isotherm when expressed graphically. When obtained at different temperatures, the energy
associated to moisture interactions at low water vapor pressures can be estimated. Various mathematical models have been
developed to describe sorption isotherms, which are also used to standardize the edible films and coatings to achieve better
efficacy (Saberi et al., 2015).
 Edible Films and Coatings for Fruits and Vegetables 7

Advantages of Edible Films and Coatings

Edible coatings and films are used to improve food appearance and conservation due to their various advantages over usual
synthetic packaging materials. These are produced from both animal and agricultural products, hence possess environment-
friendly, biodegradable and eatable nature. Edible packaging also reduces the wastage of packaging materials in compared to
synthetic packaging (Petersen, et al., 1999; Park et al., 1994; Sothornvit and Krochta, 2000). They act as barriers to moisture, oxygen
and other gases during processing, handling, and storage (Li and Barth, 1998; Avena-Bustillos et al., 1994a,b), and not only retard
food deterioration but also enhance its safety due to either their natural biocidal activity or the incorporation of antimicrobial
compounds, that also leads to the advancement of the concept of active packaging (Appendini and Hotchkiss, 2002; Cha and
Chinnan, 2004). Thus, the use of an edible coatings and films, such as chitosan and yam starch were found to be a viable
alternative for controlling microbial growth in minimally processed carrots (Durango et al., 2006), strawberries (Mali and
Grossmann, 2003), and raspberries (Han et al., 2004), as well as in table grapes inoculated with B. cinerea (Romanazzi et al., 2002).
Advantages of edible films and coatings also include, improved retention of moisture, firmness, color, acids, sugars, and flavor
components, reduced weight loss, reduction of storage decay, improved consumer appeal and extended shelf-life (Park et al., 1994;
Sothornvit and Krochta, 2000; Davis and Hofmann, 1973; Avena-Bustillos et al., 1994a,b, 1997; Baldwin et al., 1995).
Edible films and coatings have also found to retard respiration rates (Banks, 1984), reduce ethylene production (Banks, 1984;
Baldwin et al., 1995), reduce metabolism and oxidation rates (Li and Barth, 1998), hinder solute movement (Li and Barth, 1998),
retard loss of chlorophyll and other coloring compounds thus retaining the color (Banks, 1984), seal in flavor volatiles, carry
additives that could contribute in their specific functionality (Baldwin et al., 1995).
Thus the major benefits of edible films and coating are that they can be consumed along with food, can provide additional
nutrients, may enhance sensory characteristics and may include quality enhancing antimicrobials and antioxidants and also
extension of shelf-life as well as preservation of product quality during storage (Guilbert et al., 1996a,b).

Limitations and Ongoing Improvement Strategies

Even though some edible coatings and films have been successfully applied to fresh produce and substantial scopes are seen to
address several technological problems but some correctable limitations are also observed which may further reduce limitations in
terms of quality aspects of the product and food safety. Modification of internal atmospheres by the use of edible coatings can
increase disorders associated with high carbon dioxide or low oxygen concentration leading to anaerobiosis (Smith et al., 1987). It
was observed that tomatoes coated with 5–66 µm zein film produced alcohol and off-flavors internally which were attributable to
an internal gas composition with too low in oxygen and too high in carbon dioxide (Park et al., 1994). It was also found the
development of alcoholic flavors in apple and pear due to inhibition of normal respiration rate leading to anaerobic fermentation
on sufficient wax coating. Increased core flush incidence was also observed along with some other different advantages in apple
when coated with sucrose fatty acid ester (Momen et al., 1997). Sometimes, micro organisms can also get favorable condition for
their growth in edible coating or film that may leads to the mass scale spoilage of the product. Another existing disadvantage of
these techniques is the loss of quality of the edible coatings and films since there is no control over the shape, size and size
distribution of the dispersed elements (e.g., additives, ingredients, etc.) in the support structure matrix. Another disadvantage of
these techniques is that the thickness of the films is generally not constant and difficult to control.
To overcome these problems so many strategies are being adopted and some can still be adopted after thorough research in the
aspect of analysis, value improvement and optimization. The effects of edible coatings on internal gas composition and their
interactions on quality parameters must be determined for coated fresh produce. For example, color change, rate of ripening,
firmness, ethanol fermentation, decay-ratio, and weight loss are very important quality parameters of fruits and vegetable in terms
of storage and shelf life (Ninja et al., 2017; Paul, 2018). Also, if a coating is too thick, detrimental effects can result due to an
internal oxygen concentration below a desirable level and an associated increased carbon dioxide concentration above a critical
tolerable level. Such a condition leads to anaerobic fermentation and off flavor formation. In this regard, it is proposed that these
issues can be addressed by: (a) developing several edible coatings with suitable structural additives like- plasticizer with different
concentrations and combinations and optimizing the independent parameters with respect to the dependant, (b) incorporation of
functional materials like antimicrobial, antioxidants (e.g., natural, permitted chemicals or suitable nano materials etc.) in different
concentration into the optimized concentration and analyzing its effects after coating, (c) measuring volatile components and gas
permeation properties of selected coatings, (c) measuring diffusion properties of skin and flesh of selected fruits, (d) predicting
internal gas compositions for the fruits coated with edible films with respect to the coating period, and (e) observing coating
effects on the quality changes of the coated products with respect to the coating period.

Functional Additives and Other Strategies to Improve Edible Films and Coatings
Improvement of mechanical and functional properties of edible films and coatings is done by adding certain additional substances
like – plasticizer, oils, natural active materials, antioxidants, antimicrobials, nutrients, colorants, vitamins, probiotics etc., into the
coating solution, which may be termed as additives. However, plasticizers are the main and commonly essential additives used in
films and coatings. Antioxidant and antimicrobial agents can play remarkable role in extension of shelf life by preventing
oxidation by limiting oxygen availability and microbial degradation respectively. Other functional additives may have
8 Edible Films and Coatings for Fruits and Vegetables

preservative, nutritional or esthetic value to the coated product. Various natural functional extracts and phytochemicals as well as
green nanomaterials with tremendous functionalities have become the most important zone of interest among the global scientists
to combine them with edible coatings and films. These materials have no or very minimum hazards to environment and may also
add some nutritional and nutraceutical benefits to the consumers. The ability of edible films to retard moisture, oxygen, aroma
and solute transport may be improved by introducing additives such as antioxidants, antimicrobials, colorants, flavors, fortifying
nutrients and spices in film formulation (Pranoto et al., 2005).

Plasticizers
These are small molecular-weight compounds that can be added mainly in an edible film or coating solution to improve the flexibility
and mechanical properties of the film matrix. As a general rule, the addition of a plasticizer increases the permeability of a film or
coating. Plasticizer combines with the main component of the film, moving the component’s chains apart, and thus reduces rigidity of
the structure (Guilbert and Biquet, 1996). Without plasticizers, most films and coatings are brittle, and it is difficult to form a
homogenous film. The effectiveness of a plasticizer depends upon three things: size, shape and compatibility with the matrix
(Sothornvit and Krochta, 2001). Plasticizer also attracts water molecules around it, which reduces intermolecular interactions of the
main component (Ke and Sun, 2001). Plasticizers normally generate a homogenous mixture without phase-separation. There are two
types of plasticization: internal and external. Internal plasticizers chemically modify a polymer chain through addition of substituent
groups attached via covalent bonds. Internal plasticizers create steric hindrance between the polymer chains, leading to increased free
volume and improved flexibility. External plasticizers solvate and lubricate the polymer chains, lowering the glass transition temperature
of the base polymer and also increasing the free volume. The most effective plasticizer is, of course, water. The state of the plasticizer
under normal storage conditions may also affect its permeability and flexibility. Solid plasticizers may have an “anti-plasticizing” effect,
and decrease matrix flexibility, while improving permeability (Dangaran and Krochta, 2007). In traditional polymer-plasticizer systems,
anti-plasticization occurs when a plasticized system is harder and less flexible than the pure polymer at a temperature below the glass
transition or Tg (Chang et al., 2000; Morara et al., 2002).
The most commonly used plasticizers for polysaccharide films are glycerol, sorbitol and polyethylene glycol (Sothornvit and
Krochta, 2005; Mali and Grossmann, 2003). Disaccharides such as sucrose and monosaccharides (e.g., fructose, glucose, and
mannose) have been investigated as their potentiality as plasticizer and found to be exhibiting films with lower WVP compared to
those containing polyols as plasticizers (Zhang and Han, 2006; Olivas and Barbosa-Cánovas, 2008). Fatty acids have also been
used as plasticizers in edible films and coatings, though they are not very common. A mixture of starch and alginate to form edible
film has been studied to improve the mechanical properties of film. The mesquite gum forms films with excellent water vapor
barrier properties when small amounts of lipids are added in their formulation. Addition of plasticizer such as glycerin in gluten
films is very useful to improve film flexibility (Gennadios et al., 1994). However, increasing film flexibility by increasing sorbitol
content reduces film strength, elasticity and water vapor barrier properties (Gontard et al., 1993). Tensile strength of gluten films
can be improved by using a cross-linking agent such as glutaraldehyde, or heat curing at 80°C (Gennadios and Weller, 1992;
Koelsch and Labuza, 1992).

Antimicrobial and antioxidant agents

Antimicrobial and antioxidant coatings have advantages over their direct applications because they can be designed to slow down
the diffusion of the active compounds from the surface of the coated food. The use of active or functional edible films and coatings
in food protection and preservation has recently increased since they offer several advantages over synthetic materials, such as
being biodegradable and eco-friendly (Tharanathan, 2003; Ponce et al., 2008).
Antimicrobial agents: The antimicrobial coatings and films are rapidly developing technologies that are being employed for
controlling the microbiological decay of perishable food products (Del Nobile et al., 2008). Common chemical antimicrobial
agents used in food systems, such as benzoic acid, propionic acid, sodium benzoate, sorbic acid, and potassium sorbate etc may be
incorporated into edible films and coatings to inhibit the outgrowth of both bacterial and fungal cells. In fact, the antimicrobial
compounds, when establish contact with food, inhibit the growth of microorganisms present in the surface (Appendini and
Hotchkiss, 2002). These films could prolong the shelf-life and ensure the safety of foods by acting as a hindrance for growth of
pathogenic and spoilage microorganisms due to their lag-phase extension and/or their growth rate reduction. However, due to the
health concerns of consumers related to chemical preservatives, the demand for natural substances has spurred the search for
natural bio-preservatives in edible films-forming preparations. The most frequently used bio-preservatives as antimicrobial are
lysozyme and nisin. These biopreservatives are shown bactericidal effect on Gram (+ve) bacteria but they can also become effective
on Gram (-ve) bacteria if they are combined with chelating agents such as ethylene diamine tetraacetic acid (EDTA). Common
other bio-preservatives that may be used in edible films and coatings are other bacteriocins, such as lacticin and pediocin and
antimicrobial enzymes, such as chitinase and glucose oxidase. Natural antimicrobial compounds have also been incorporated into
protein or polysaccharide-based matrices: rosemary, and garlic essential oils, lemon grass, cinnamon oil etc at different
concentrations.
Antioxidants: Incorporation of antioxidants in edible films-forming preparations to increase product shelf life by protecting
foods against oxidative rancidity, degradation, and discoloration has become very popular. Most antimicrobial compounds also
have antioxidant properties. Natural antioxidants such as phenolic compounds (such as carvacrol, camphor, eugenol, linalool and
thymol), vitamins E and C in place of synthetic antioxidants are extensively used in edible films. Essential oils and various extracts
exhibit a wide range of biological effects, including antioxidant and antimicrobial properties.
 Edible Films and Coatings for Fruits and Vegetables 9

Essential oils
Consumers have been continuously moving towards the food products with NO or LESS chemicals. So, the searches for natural
substances which can act as alternative active and functional materials are in peak. Essential oils are one of the search outputs those
are aromatic, natural antioxidant, and antimicrobials obtained from plant sources. They consist of a mixture of various natural
functional compounds, such as terpenoids, phenolic acids, terpenes, and various other aromatic and aliphatic compounds, but
their exact composition varies based on their source. The presence of essential oils can extend the shelf life of food products by
limiting microbial growth and preventing lipid oxidation (Tongnuanchan et al., 2013; Perdones et al., 2014).
However, some of their properties like- strong aroma, risk of toxic effect, and alteration of organoleptic properties of the
food – have restricted their application in direct food preservation. However, a strategy is being developed to solve this
problem by incorporating essential oils into edible films and coatings. It is possible to reduce the required doses by immo-
bilizing them into the polymeric matrix, which limits their volatilization, controls their leaching, and preserves the quality
and maintain the safety of fresh and fresh-cut fruits and vegetables (Sánchez-gonzález et al., 2011; Bonilla et al., 2013;
Ruiz-Navajas et al., 2013).
Tongnuanchan et al. (2013) studied the antioxidant properties of the edible film made by fish skin gelatin incorporated with
essential oils of ginger, turmeric, and plai, where they showed higher antioxidant activity than the control film. Perdones et al. (2014)
reported that chitosan films containing cinnamon leaf oil also exhibit higher antioxidant activity. Ruiz-Navajas et al. (2013) also
developed chitosan films introducing Thymus piperella oil presented higher antioxidant activity than edible films containing Thymus
moroderi essential oil. The antioxidant activity hence depends upon the nature of essential oils and the structural features of the
molecules, mainly the reactivity of the hydroxyl groups of the compounds. Concentration, temperature, light, physical state of
the system, substrate type, and microcomponents acting as pro-oxidants or synergism also impact the antioxidant activity. Ponce
et al. (2008) reported that butternut squash containing chitosan coatings incorporated with oleoresins improves the antioxidative
protection of the fresh-cut squash, limiting the browning process without adversely affecting their organoleptic acceptability. However,
the addition of antioxidants to films not necessarily always improves the antioxidant efficacy. Indeed, Atarés et al. (2010) reported that
incorporation of Cinnamon oil and ginger oils with sodium caseinate films does not enhance antioxidant effect as compared with the
control film without essential oils, even though cinnamon oil alone show high antioxidant property. In addition to their high
antioxidant property, essential oils can also strengthen the water barrier properties of the film because they display the hydrophobic
nature of lipids (Atarés et al., 2010; Kaliana et al., 2014).

Extracts
Chemically synthesized antioxidants have raised some safety concerns and various regulatory agencies have already restricted
their use as food additives, so researchers have focused on films incorporated with antioxidants from various natural extracts
(Murcia and Martínez-tomé, 2001; De’nobili et al., 2013; Ninja et al., 2017; Paul, 2018). These extracts also contribute to
nutritional and quality features without affecting the food product integrity (Guilbert et al., 1996a,b).
Extracts like tea extracts (Das et al., 2013; Li et al., 2014), ginseng extract (Norajit et al., 2010), fruit and vegetables extracts
(Akhtar et al., 2012; Supapvanich et al., 2012), and tulsi extracts (Ninja et al., 2017) possess tremendous antioxidant activity, can
reduce lipid oxidation, and enhance the quality and storage life of various food systems. The antioxidant effect of these
extracts results primarily due to phenolic compounds and their antagonistic, synergistic, and additive effects (Krochta and
Mulder-Johnson, 1997). However, despite their excellent scavenging effect and ability to protect the food products, they are still
less effective than synthetic antioxidants.
Several studies on antioxidant and functional extracts that also confer color to edible films have been published (Gómez-estaca
et al., 2009a,b; Norajit et al., 2010; Akhtar et al., 2012; Li et al., 2014). In addition, it has been well established that extracts exhibit
coloring and antioxidant properties that enables effective control against photo-oxidation by reduced light transmission, especially
ultra violet radiation (Norajit et al., 2010; Li et al., 2014). Hence, in the same way that natural extracts were successfully
incorporated into edible coatings and films. Their use in edible films and coatings in fruits and vegetables could maintain food
quality and also extend the shelf life. However, light exposure may degrade the active compound during storage and deteriorate
optical properties like luminosity or chroma. Nevertheless, several scientists including the author of this article have shown that
this technology can better control weight loss, color, nutrient loss and respiration rates, allowing for longer shelf life as compared
with control samples (Pastor et al., 2011; Das et al., 2013; Kaliana et al., 2014; Ninja et al., 2017; Paul et al., 2018; Paul, 2018).

Nanomaterials
Incorporation of nanomaterials into other base materials exhibit modifications in the properties of the materials and impart novel
properties to the materials. In order to achieve these modifications in films and coatings, a proper interaction between the
polymeric base and the nanofiller is desired (Lagaron and Lopez-Rubio, 2011).
Impregnation of the filler into the polymeric matrix can be achieved using in situ polymerization (dissolution of the nano-
particles in the monomer solution before polymerization), solvent intercalation (use of a solvent to increase the affinity between
the nanoparticles and the polymer) and melt intercalation (addition of particles during the preparation of formulation for
extrusion) (Chivrac et al., 2009). When the affinity between the nanoparticles and the polymer is low, the nanoparticle or nanoclay
interlayer does not expand and the nanostructures or clay tactoids remain as such in the polymeric base. In this way, no true
nanocomposite can be formed. When the affinity between the nanostructure and the polymer is moderate, the polymer can partly
penetrate the clay interlayer, leading to an intercalated structure, which is still a layered structure. When the affinity is high, an
10 Edible Films and Coatings for Fruits and Vegetables

exfoliated structure is formed by dispersion of the nanostructures into the polymeric base (Arora and Padua, 2010; Chivrac et al.,
2009; Paul, 2018). Since a high surface-to-volume ratio has the enhanced effect on the attributes of the developed polymer, the
exfoliated structure is the ultimate goal.
Various chemical modifications on nanostructure surface in order, such as cationic exchange, use of block copolymers
adsorption, ionomers, and organosilane grafting, are sometimes necessary to make the surface more hydrophobic leading to
intercalation/exfoliation in the polymer matrix. Modification of the polymer can also lead to a more homogeneous dispersion
(Chivrac et al., 2009; Arora and Padua, 2010; Silvestre et al., 2011).

Other strategies
Another way to enhance the performance of edible packaging is by chemical and/or physical modification of the polymers.
Modification can impart a positive effect on mechanical properties and water vapor permeability of the produced film. It can also
be used as a tool to enhance compatibility between two polymers or even polymers and additives. Towards this objective, mainly
starch from different sources has been modified to improve their hydrophobicity, making them more compatible with hydro-
phobic functional additives and other polymers or food surfaces.
Oxygen permeability and hydrophobicity of microfibrillar cellulose (MFC) films was found to be improved by acetylation with
acetic anhydride. Film thicknesses from 42 to 47 µm lead to oxygen permeability values required for MAP application (Rodionova
et al., 2011). Flexible starch films with water resistant properties can be produced by heating gelatinized starch with lithium
chloride in an anhydrous suspension in the presence of an organic solvent (Fang et al., 2005).
Cross-linking of cellulose acetate with tri-sodium tri-meta phosphate led to materials with higher tensile strength, lower water
absorption and slower degradation kinetics (Demirgöz et al., 2000). Crosslinked starches are more hydrophobic because it has
additional carbon chains than native starches. This causes better compatibility of the starch with other polymers or additives
(Kim and Lee, 2002).
According to Gennadios et al. (1993), water vapor permeability and oxygen barrier properties of a wheat gluten film can be
improved by partial substitution of the wheat gluten with hydrolyzed keratin, probably due to bonding between the two proteins.
Better water vapor resistance property was also demonstrated by soaking wheat gluten film in CaCl2 solution and then in distilled
water or in a neutral solution. This treatment process also showed enhanced tensile strength and is probably due to cross-linking of
Ca2+ in the film structure and protein insolubility of wheat gluten at a pH equal to the isoelectric point. Further, Rhim et al. (1999)
demonstrated that irradiation with ultra violet light on wheat gluten based film increases the tensile strength by 20%, suggesting a
probable cross-linking within the film composition.

Regulatory Status

At global level, proper regulation for edible films and coatings, especially their additives and their quantum to be used is lacking.
However, some countries have introduced few points in their own food safety regulations to keep the application of edible films
and coatings within the safety limits. European Directive and USA regulations consider edible films and coatings as food ingre-
dients, food products, food additives food packaging materials or food contact substances (ED European Parliament and Council
Directive No95/2EC, 1995).
In Europe, the substances that can be incorporated into edible coating formulations are mainly considered as food additives
and are listed in the list of food additives for general purposes, although acacia, pectins, karaya gums, polysorbates, beeswax, fatty
acids, and lecithin are mentioned specifically for applications in edible films and coating (ED European Parliament and Council
Directive No95/2EC, 1995). In any case, the use of these film or coating forming ingredients is allowed, provided that the
“quantum satis” principle is observed. This Directive was complemented by the introduction of specific purity criteria for food
additives.
In most of the countries, chemical substances used as antimicrobials are regarded as food additives, only if the primary purpose
of the substances is to extend the shelf life. Another important domain of concern within regulatory status is the presence of
allergens. Many edible films and coatings are made with the substances that could cause allergic reactions among certain indi-
viduals. Several edible films and coatings are also made from whey protein, casein, gluten, soy protein and peanut protein
(Rojas-Graü et al., 2009). So, the presence of a known allergen in edible packaging of food including fruits and vegetables must
also be clearly labeled.
Further, edible films and coatings are meant for the purpose of its direct consumption, hence proper regulations for the
compositions of edible films and coatings should be formulated and each and every ingredient should be properly labeled.
Looking into the research outputs provided by various researchers, uses of organic, inorganic or biological nanomaterials are also
being emphasized by business communities. Safety of consumption of nanomaterials and other chemically modified substances
could not be assured till date. However, business communities may also adopt fraudulent means to incorporate potentially
harmful substances through the gaps within the regulations. As the application of edible films and coatings are increasing
continuously, therefore the regulatory authorities of every country should take the matter seriously into their notice and frame a
proper regulation so that the goodness of the technology can be adopted eliminating any immediate or future safety issues among
the consumers.
 Edible Films and Coatings for Fruits and Vegetables 11

Future Trends

Edible films and coatings are very promising technologies for the future improvement in post harvest management, storage and
packaging of fruits and vegetables. Indeed, they could be used where petroleum based packaging cannot be used, like – they can
separate several compartments within a single food products if needed. Edible packagings can also be fabricated and utilized as
intelligent packagings because they can be both active, selective and also be incorporated with smart features for infinite potential use.
A new generation of edible coatings for climacteric and perishable fruits and vegetables is under development, with the aim of
allowing the incorporation and/or controlled release of functional compounds using micro-level and nanotechnological solutions
such as nanoencapsulation and multilayered coatings, thus enhancing their viability and stability. Alginate is the most widely used
biopolymer for encapsulation, but materials from different other biological sources can also be used. Enzymes, antioxidants,
antimicrobials, colorants, flavors, probiotic, prebiotic, essential oils (omega-3-fatty acids) are among the most applied functional
substances in encapsulations.
Nowadays, nanotechnologies are being used to enhance the nutritional aspects of food by means of nanosized additives and
nutrients and nanolevel delivery systems for functional compounds. The concept of nanocomposites further brought a stimulating
route for creating new and innovative materials, also with natural polymers. Coating foods with nanolaminates involves entirely
either food-grade ingredients (proteins, polysaccharides, lipids) or could also include various functional materials such as anti-
microbials, antioxidants, antibrowning agents, enzymes, colorants and flavorings. Further, the electrodeposition technique has
also demonstrated potential that could be used to coat highly hydrophilic food including fruits and vegetables surfaces such as
fresh-cut fruits and vegetables.
Consumer demands are driving the global scientists to search for alternatives to synthetic packaging materials with cost
effectiveness. However, it is observed that the cost of edible films and coatings is many folds higher than those of polyethylene or
polypropylene film. However, their cost is not major hurdle to their development because quantities used are very low, and till
now they are especially applied for very specific goals in value-added food products. Thus, the concept of edible polymers and that
of synthetic materials should be used synergistically for the development of new scope and utility, new biodegradable and edible
materials, and new environment friendly approaches with the primary objective of proper post harvest storage, packaging and
transportation of agricultural and horticultural produce and also shelf life extension of fresh and processed food products.

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Further Reading

El Ghaouth, A., Arul, J., Ponnampalam, R., Boulet, M., 1992. Chitosan coating to extend the storage life of tomatoes. Horticulture Science 27 (9), 1016–1018.
Fabra, M.J., Talens, P., Chiralt, A., 2010. Water sorption isotherms and phase transitions of sodium caseinate-lipid as affected by lipid interactions. Food Hydrocolloids 24,
384–391.
Shen, L., Haufe, J., Patel, M.K., 2009. Product overview and market projection of emerging bio-based plastics. Available at: http://en.european-bioplastics.org/wpcontent/
uploads/2011/03/publications/PROBIP2009_Final_June_2009.pdf (accessed 11.10.12).